Category: Regulations

The 2021 annual report (available in French – Dutch only) of the Belgian Audit Oversight Board (BAOB) is now available on its website.   Source: FSMA

The Financial and Consumer Services Commission (FCNB) is reminding those making large consumer purchases to avoid feeling pressured into signing financing contracts they haven’t had the time to review or understand.  “Increased inflation has led to rising prices for day-to-day products, such as food, gas and household goods,” said Alaina Nicholson, FCNB’s director of consumer […]

Topics Expertise from the subject matter experts at New Brunswick’s Financial and Consumer Services Commission. Regulated Industries FCNB is responsible for the regulation and enforcement of securities, insurance, pensions, credit unions, trust and loan companies, co-operatives, mortgage brokers, pay day lenders, real estate and a wider range of other consumer legislation. We regulate 36,000 industry […]

Log In FinPro For Industry Professionals Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks. FINRA Gateway For Member Firms Firm compliance professionals can access filings and requests, run reports and submit support tickets. DR Portal For Case Participants Arbitration and mediation case participants and FINRA neutrals […]

ANNOUNCEMENT BY THE FINANCIAL SERVICES AND MARKETS AUTHORITY, PUBLISHED IN APPLICATION OF ARTICLE 78 OF THE LAW OF 21 NOVEMBER 2017 Trading in the financial instruments of Beluga, ISIN BE0003723377 on Euronext Brussels will re-open on 13/06/2022 at 11:30 CET. Source: FSMA

ANNOUNCEMENT BY THE FINANCIAL SERVICES AND MARKETS AUTHORITY, PUBLISHED IN APPLICATION OF ARTICLE 78 OF THE LAW OF 21 NOVEMBER 2017 Trading in the financial instruments of Retail Estates ,ISIN BE0003720340 on Euronext Brussels will re-open on 10/06/2022 at 09:00 CET. Source: FSMA

Speech by Jessica Rusu, FCA Chief Data, Information and Intelligence Officer, at Money20/20 Amsterdam. Speaker: Jessica Rusu, Chief Data, Information and Intelligence OfficerEvent: Money 2020 AmsterdamDelivered: 8 June 2022Note: this is a drafted speech and may differ from the delivered version Highlights Can a regulator be innovative? Can regulation be written differently? And can the financial […]

TFS Loans Ltd (in administration) has been fined £811,900 by the Financial Conduct Authority (FCA) in relation to deficient affordability checks on 3,150 guarantors in its consumer credit business. The FCA has also imposed a requirement on TFS to redress the guarantors that were harmed by the firm not conducting appropriate checks. TFS offered guarantor […]

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about extended-hours trading for stocks. Extended-hours trading, refers to trading that occurs outside of regular trading hours. Regular trading hours for stocks traded on exchanges and certain other markets are from 9:30 a.m. to 4:00 p.m. Eastern Time. […]

Notice Comments Summary On May 16, 2022, FINRA announced via Election Notice 05/16/22 upcoming elections to fill one Small Firm Governor seat and one Large Firm Governor seat on the FINRA Board of Governors (FINRA Board). The Large Firm Governor nominee, Christopher W. Flint, has changed firm affiliations and no longer qualifies to run for […]